No. 24497
Promulgation Date 2013-04-05
Financial Services Commission
ALL
PART I GENERAL PROVISIONS
Article 1 (Purpose)
Article 2 (Definitions)
Article 3 (Scope of Financial Investment Instruments)
Article 4 (Requirements for Corporate Commercial Paper)
Article 5 (Trading of Derivatives in Overseas Markets)
Article 6 (Exclusion from Application of Acts Governing Collective Investments)
Article 7 (Exclusion of Financial Investment Business from Application)
Article 8 (Scope of Specially Related Persons)
Article 9 (Scope of Significant Shareholders)
Article 10 (Scope of Professional Investors)
Article 11 (Public Offering and Public Sale of Securities)
Article 12 (Securities Eligible for Trading in KOSDAQ Market)
Article 13 (Scope of Foreign Corporations)
Article 14 (Criteria for Privately Placed Funds)
PART II FINANCIAL INVESTMENT BUSINESSES
CHAPTER I AUTHORIZATION AND REGISTRATION OF FINANCIAL INVESTMENT BUSINESSES
Section 1 Requirements and Procedure for Authorization
Article 15 (Authorized Business Units, etc.)
Article 16 (Requirements for Authorization, etc.)
Article 17 (Method and Procedure, etc. for Authorization)
Article 18 (Preliminary Authorization)
Article 19 (Mitigation of Requirements for Maintenance of Authorization)
Article 19-2 (Mitigation of Requirements for Revision to Authorization)
Section 2 Prerequisites and Procedure for Registration
Article 20 (Registered Business Units)
Article 21 (Prerequisites for Registration)
Article 22 (Method and Procedure, etc. for Registration)
Article 23 (Mitigation of Prerequisites for Maintenance of Registration)
Article 23-2 (Mitigation of Requirements for Revision to Registration)
CHAPTER II GOVERNANCE OF FINANCIAL INVESTMENT BUSINESS ENTITY
Article 24 (Scope of Application)
Article 25 (Scope of Persons Exempt from Approval of Change)
Article 26 (Requirements, etc. for Approval of Change of Major Shareholder)
Article 27 (Disqualification, etc. of Executives)
Article 28 (Appointment, etc. of Outside Directors)
Article 29 (Audit Committee)
Article 30 (Standing Auditors)
Article 31 (Internal Control Guidelines)
Article 32 (Compliance Officers)
Article 32-2 (Derivatives Business Managers)
Article 33 (Exercise of Minority Shareholder Rights)
CHAPTER III MAINTENANCE OF SOUND
Section 1 Supervision over Soundness in Business Management
Section 1 Supervision over Soundness in Business Management
Article 34 (Maintenance of Financial Soundness)
Article 35 (Guidelines for Soundness in Business Management)
Article 36 (Deadline for Submission of Business Reports)
Section 2 Restrictions on Trading with Major Shareholders
Article 37 (Restrictions on Trading with Major Shareholders)
Article 38 (Limits on Extension of Credit)
Article 39 (Transactions for which Resolution by Board of Directors is Not Required)
Article 40 (Grounds for Restriction on Transactions with Major Shareholders)
Article 41 (Scope of Exercise of Undue Influence)
CHAPTER IV BUSINESS CONDUCT RULES
Section 1 Common Rules of Business Conduct
Sub-Section 1 Duty of Good Faith
Article 42 (Restrictions on Trade Name)
Article 43 (Business Scope of Financial Investment Business Entities)
Article 44 (Public Notice of Incidental Business)
Article 45 (Scope of Affairs, Entrustment of which is Prohibited)
Article 46 (Reporting on Entrusted Affairs)
Article 47 (Scope, etc. of Essential Affairs)
Article 48 (Scope of Re-entrustment)
Article 49 (Guidelines for Providing Information on Entrusted Affairs)
Article 50 (Cut-Off of Information Exchanges of Financial Investment Business Entities)
Article 51 (Cut-off of Information Exchanges with Affiliated Companies, etc.)
Sub-Section 2 Investment Recommendations, etc.
Subsection 2 Investment Recommendations, etc.
Article 52 (Confirmation of Purpose of Investment)
Article 52-2 (Principle of Propriety)
Article 53 (Duty to Provide Explanation)
Article 54 (Exceptions to Prohibition on Uninvited Recommendations)
Article 55 (Prohibition on Unfair Recommendations)
Article 56 (Qualifications for Investment Solicitors)
Article 57 (Entrustment of Affairs of Registration)
Article 58 (Method and Procedure for Registration)
Article 59 (Prohibited Acts of Investment Solicitors)
Subsection 3 Prohibition of Use of Job-related Information, etc.
Article 60 (Advertisement Soliciting Investment)
Article 61 (Delivery of Contract Documents and Cancellation of Contacts)
Article 62 (Keeping and Maintaining Records)
Article 63 (Deposit of Acquired Securities)
Article 64 (Trading by Executives and Employees of Financial Investment Instruments)
Article 65 (Operating Funds of Foreign Financial Investment Business Entity)
Article 66 Deleted.
Section 2 Rules on Business Conduct by Financial Investment Business Entities
Sub-Section 1 Rules on Business Conduct by Investment Traders and Investment Brokers
Article 67 (Period for Disposition of One's Own Stocks)
Article 68 (Prohibition on Unsound Business Conduct)
Article 69 (Credit Extension)
Article 70 (Notice of Details of Trading)
Article 71 (Exception to Deposits of Financial Securities Companies)
Article 72 (Exceptional Transfer of Investor's Deposit)
Article 73 (Time for Public Notice of Payment of Investor's Deposit)
Article 74 (Management of Investor's Deposit)
Article 75 (Scope of Investor's Deposit)
Article 76 (Depositing of Securities Deposited by Investors)
Article 77 (Special Exception to Sale of Collective Investment Securities)
Article 78 (Guidelines for Business of Electronic Securities Brokerage Company)
Subsection 2 Rules on Business Conduct by Collective Investment Business Entities
Article 79 (Instruction of Asset Management)
Article 80 (Exceptions to Restriction on Limits of Asset Management)
Article 81 (Grounds for Exceeding Exceptional Limits of Restriction on Asset Management)
Article 82 (Disposition of One's Own Collective Investment Securities)
Article 83 (Restrictions on Borrowing Money, etc.)
Article 84 (Scope of Interested Parties)
Article 85 (Exceptions to Restriction on Trading with Interested Parties)
Article 86 (Restriction on Acquisition of Securities of Affiliated Companies)
Article 87 (Prohibition of Unsound Business Conduct)
Article 88 (Restriction on Contingent Remuneration)
Article 89 (Restriction on Exercise of Voting Rights)
Article 90 (Maintenance of Records of Exercise of Voting Rights)
Article 91 (Public Disclosure of Exercise of Voting Rights)
Article 92 (Asset Management Reports)
Article 93 (Means, etc. of Ad Hoc Public Disclosure)
Article 94 (Reporting and Public Notice Concerning Collective Investment Property)
Article 95 (Inspection and Public Disclosure, etc. of Account Books and Documents)
Article 96 (Special Exception to Management of Derivatives)
Article 97 (Special Exception to Management of Real Estate)
Subsection 3 Rules on Business Conduct by Investment Advisory Business Entities and Discretionary Investment Business Entities
Article 98 (Execution of Contracts)
Article 99 (Prohibition on Unsound Business Conduct)
Article 100 (Delivery of Discretionary Investment Report)
Article 101 (Special Exceptions to Offshore Investment Advisory Business Entities)
Article 102 (Reporting on Quasi-Investment Advisory Businesses)
Subsection 4 Rules on Business Conduct by Trust Business Entities
Article 103 (Classification of Trusts)
Article 104 (Methods of Trust Business)
Article 105 (Acquisition of Trust Property with Proprietary Property)
Article 106 (Management Method of Trust Property)
Article 107 (Management of Surplus Funds)
Article 108 Deleted.
Article 109 (Prohibition on Unsound Business Conduct)
Article 110 (Trust Deeds)
Article 111 (Reporting on Issuance of Beneficiary Certificates)
Article 112 (Purchase of Beneficiary Certificates)
Article 113 (Restriction on Exercise of Voting Rights)
Article 114 (Public Disclosure of Exercise of Voting Rights)
Article 115 (Inspection and Public Disclosure of Account Books and Documents)
Article 116 (Entrusted Establishment of Accounting Principles)
Article 117 (Exemption from Accounting Audit)
Article 118 (Appointment of Accounting Auditors)
PART III ISSUANCE AND CIRCULATION OF SECURITIES
CHAPTER I REGISTRATION STATEMENT
Article 119 (Securities Exempt from Chapter I of Part III of Act)
Article 120 (Registration Statement on Public Offering or Sale)
Article 121 (Universal Shelf Registration Statement)
Article 122 (Supplements to Universal Shelf Registration Statement)
Article 123 (Scope of Forecast and Prospects)
Article 124 (Verification and Examination of Registration Statement by Representative Director)
Article 125 (Descriptions and Accompanying Documents of Registration Statement)
Article 126 (Descriptions and Accompanying Documents of Universal Shelf Registration Statement)
Article 127 (Descriptions, etc. of Registration Statement on Collective Investment Securities)
Article 128 (Descriptions and Accompanying Documents of Registration Statement on Asset-Backed Securities)
Article 129 (Special Rules Applicable to Descriptions and Accompanying Documents of Registration Statement)
Article 130 (Correction of Descriptions on Registration Statement)
Article 131 (Preparation and Public Disclosure of Investment Prospectus)
Article 132 (Persons Exempt from Issuing Investment Prospectus)
Article 133 (Methods of Preparing Preliminary Investment Prospectus)
Article 134 (Method of Preparing Short-Form Investment Prospectus)
Article 135 (Persons Liable for Losses Caused by False Statement)
Article 136 (Matters Excluded from Public Disclosure)
Article 137 (Public Offering or Sale without Filing Registration Statement)
Article 138 (Measures of Financial Services Commission)
CHAPTER II SYSTEMS RELATED TO
Section 1 Public Tender Offer
Section 1 Public Tender Offer
Article 139 (Securities Eligible for Public Tender Offer)
Article 140 (Guidelines for Calculating Number of Opposite Parties to Public Tender Offer)
Article 141 (Scope of Specially Related Persons)
Article 142 (Possession Similar to Ownership)
Article 143 (Purchase, etc. for which Public Tender Offer Not Required)
Article 144 (Purchase not Deemed Purchase in Securities Exchange)
Article 145 (Public Notice, etc. of Tender Offer)
Article 146 (Public Tender Statement, etc.)
Article 147 (Prohibition on Change of Terms and Conditions of Tender Offer)
Article 148 (Preparation of Prospectus for Tender Offer)
Article 149 (Expression of Opinions on Tender Offer)
Article 150 (Exceptional Revocation of Tender Offer)
Article 151 (Acquisition of Stocks in Any Manner other than Tender Offer)
Article 152 (Measures of Financial Services Commission)
Section 2 Report on Stocks, etc. Held in Bulk
Article 153 (Reporting on Stocks, etc. Held in Bulk)
Article 154 (Special Exceptions to Reporting on Stocks Held in Bulk)
Article 155 (Reporting on Changes in Material Facts)
Article 156 (Dispatching Reports on Holding Stocks in Bulk to Issuer)
Article 157 (Scope of Material Facts)
Article 158 (Period of Restriction for Exercise of Voting Rights)
Article 159 (Measures of Financial Services Commission)
Section 3 Restriction on Solicitation to Exercise Voting Rights by Proxy
Article 160 (Method of Delivering Proxy Forms)
Article 161 (Cases Not Deemed Solicitation to Exercise Voting Rights by Proxy)
Article 162 (Scope of Public-Purpose Corporation)
Article 163 (Descriptions of Proxy Form and Reference Documents)
Article 164 (Submission Date of Proxy Form and Reference Documents)
Article 165 (Demand for Correction)
Article 166 (Measures of Financial Services Commission)
CHAPTER III LISTED CORPORATION'S BUSINESS REPORT
Article 167 (Corporations Obligated to Submit Business Reports)
Article 168 (Descriptions and Accompanying Documents of Business Report)
Article 169 (Verification and Examination of Representative Director and Another Director on Business Report)
Article 170 (Descriptions and Accompanying Documents of Half-yearly and Quarterly Reports)
Article 171 (Events Requiring Submission of Reports on Material Facts)
Article 172 (Institutions Requested to Furnish Information)
Article 173 (Scope of Securities Subject to Liability for Losses)
Article 174 (Matters Excluded from Public Disclosure of Business Reports)
Article 175 (Measures of Financial Services Commission)
Article 176 (Special Exceptions for Foreign Corporations and Others)
CHAPTER Ⅲ LISTED CORPORATION'S BUSINESS REPORT
Article 176-2 (Guidelines for Acquisition and Disposal of One's Own Stocks)
Article 176-3 (Period for Disposal of Excessive Portion)
Article 176-4 (Period, Methods, etc. for Acquisition of Stocks for Retirement)
Article 176-5 (Requirements, Methods, etc. for Merger)
Article 176-6 (Requirements, Methods, etc. for Business Acquisition or Transfer, etc.)
Article 176-7 (Appraisal Rights of Shareholders)
Article 176-8 (Capital Increase by Public Offering)
Article 176-9 (Exceptions, etc. to Preferential Allocation to Members of Employee Stock Ownership Association)
Article 176-10 (Minimum Issue Price of Stocks to be Issued Less Than Par Value)
Article 176-11 (Methods of Evaluation of Price of Stocks Invested in Kind)
Article 176-12 (Issuance of Participating Bonds)
Article 176-13 (Issuance of Exchangeable Bonds)
Article 176-14 (Methods of Calculating Market Prices)
Article 176-15 (Special Cases concerning Dividends of Public Purpose Corporations, etc.)
Article 176-16 (Corporations Issuing Non-Voting Stocks)
Article 176-17 (Standards for Financial Management of Stock-listed Corporations, etc.)
Article 176-18 (Report, etc. on Granting Stock Options)
CHAPTER Ⅳ OVER-THE-COUNTER TRADING
Article 177 (Method of Over-The-Counter Trading)
Article 177-2 (Exemption from Deliberation on Over-The-Counter Derivatives)
Article 178 (Over-The-Counter Trading through Association)
Article 179 (Over-The-Counter Trading through Inter-Dealer Broker)
Article 180 (Over-The-Counter Trading through Specialized Bond Dealer)
Article 181 (Trading with Buy-back Agreement)
Article 182 (Transactions of Borrowing and Lending Securities)
Article 183 (Over-The-Counter Transactions of Corporate Commercial Papers, etc.)
Article 184 (Transactions in Overseas Markets)
Article 185 (Other Over-The-Counter Transactions of Securities)
Article 186 Deleted.
Article 186-2 (Transactions for Risk Avoidance)
Article 187 (Limits on Acquisition by Foreigners of Securities or ExchangeTraded Derivatives)
Article 188 (Registration of Foreigner's Investment)
Article 189 (Accounting Auditor's Audit Certificate)
Article 190 (Special Exception to Accounting Audit of Foreign Corporations)
Article 191 (Extent of Securities Subject to Liability for Losses)
Article 192 (Alternative Payment for Guarantee Money)
Article 193 (Deposit Certificate)
PART IV REGULATION OF UNFAIR TRADING
Article 194 (Scope of Employees Obligated to Return Short-Swing Profit)
Article 195 (Method of Calculation of Short-Swing Profit)
Article 196 (Securities Exempt from Return of Short-Swing Profit)
Article 197 (Public Disclosure of Short-Swing Profit)
Article 198 (Exception to Return of Short-Swing Profits)
Article 199 (Duration Applicable Mutatis Mutandis to Investment Traders)
Article 200 (Reporting by Executives on Current Status of Specific Securities Owned)
Article 200-2 (Reporting on Exchange-traded Derivatives Held in Bulk)
Article 201 (Disclosure of Information)
Article 202 (Market Price Subject to Market Price Manipulation)
Article 203 (Persons Authorized to Conduct Manipulation for Stabilization and Market Creation)
Article 204 (Methods of Manipulation for Stabilization)
Article 205 (Market Creation Method)
Article 206 (Persons Eligible for Entrustment of Manipulation for Stabilization)
Article 207 (Scope of Linked Securities)
Article 208 (Restriction on Short Sale)
PART V COLLECTIVE INVESTMENT SCHEME
CHAPTER I GENERAL PROVISIONS
Article 209 (Registration Requirements of Collective Investment Scheme)
Article 210 (Exemption from Revised Registration)
Article 211 (Methods, Procedures, etc. of Registration)
Article 212 (Business Affairs of General Administration Company)
Article 213 (Investment Company's Disposition of Its Own Collective Investment Securities)
Article 214 (Keeping and Maintaining Records of Data of Investment Company, etc.)
CHAPTER II ORGANIZATION OF COLLECTIVE INVESTMENT SCHEMES
Section 1 Investment Trust
Section 1 Investment Trust
Article 215 (Descriptions of Trust Deed)
Article 216 (Reasons for being Excused from General Meeting of Beneficiaries)
Article 217 (Matters Subject to Resolution of General Meeting of Beneficiaries)
Article 218 (Descriptions of Beneficiary Certificates)
Article 219 (Exceptions to Prohibition on Furnishing Information)
Article 220 (Convening General Meeting of Beneficiaries)
Article 221 (Exercise of Voting Rights in Writing)
Article 222 (Buy-Out of Beneficiary Certificates from Dissenting Beneficiaries)
Article 223 (Grounds for Termination Allowed without Approval)
Article 224 (Method and Procedure, etc. for Approval on Termination)
Article 225 (Reasons for Partial Termination)
Article 226 (Merger of Investment Trusts)
Section 2 Collective Investment Scheme in Form of Company
Article 227 (Descriptions of Articles of Incorporation)
Article 228 (Accompanying Documents for Registration of Incorporation)
Article 229 (Amendment to Articles of Incorporation)
Article 230 (Condition of Issuance of New Stocks)
Article 231 (Disqualification of Supervisory Director)
Article 232 (Registration of Liquidator)
Article 233 (Omission of Procedure for Peremptory Notice to Creditors)
Article 234 (Descriptions of Articles of Incorporation)
Article 235 (Descriptions of Equity Securities)
Article 236 (Descriptions of Articles of Incorporation)
Section 3 Collective Investment Scheme in Form of Association
Article 237 (Descriptions of Association Agreement)
Article 238 (Reporting on Dissolution)
Article 239 (Descriptions of Undisclosed Association Agreement)
CHAPTER III TYPES OF COLLECTIVE INVESTMENT SCHEMES
Section 1 Types of Collective Investment Schemes
Section 1 Types of Collective Investment Schemes
Article 240 (Minimum Investment Ratio by Type of Collective Investment Scheme)
Article 241 (Money Market Funds)
Section 2 Collective Investment Schemes in Extraordinary Form
Article 242 (Closed-End Fund)
Article 243 (Multiple-Class Funds)
Article 244 (Umbrella Funds)
Article 245 (Master-Feeder Funds)
Article 246 (Requirements for Exchange-Traded Funds)
Article 247 (Designated Participating Company)
Article 248 (Creation or Establishment)
Article 249 (Redemption of Collective Investment Securities of ExchangeTraded Fund)
Article 250 (Listing and Delisting of Exchange-Traded Funds)
Article 251 (Public Notice of Property Owned)
Article 252 (Special Exceptions to Management)
Article 252-2 (Investment Company for Corporate Financial Stability)
CHAPTER IV REDEMPTION OF COLLECTIVE INVESTMENT SECURITIES
Article 253 (Events Excusing Performance in Response to Claims for Redemption)
Article 254 (Exceptions to Redemption Method)
Article 255 (Redemption Price and Fees)
Article 256 (Grounds for Postponement of Redemption)
Article 257 (Matters Subject to Resolution of General Meeting for Postponement of Redemption)
Article 258 (Redemption Methods When Redemption is Resumed)
Article 259 (Partial Redemption)
CHAPTER V ASSESSMENT AND ACCOUNTING
Article 260 (Assessment Methods for Collective Investment Property)
Article 261 (Committee on Assessment of Collective Investment Property)
Article 262 (Calculation and Public Notice of Base Price)
Article 263 (Entrustment of Establishment of Accounting Principles)
Article 264 (Exemption from Accounting Audits)
Article 265 (Appointment of Accounting Auditor)
Article 266 (Distribution of Profits)
Article 267 (Method of Reporting Deficiency of Net Assets)
CHAPTER VI SAFEKEEPING AND MANAGEMENT OF COLLECTIVE INVESTMENT PROPERTY
Article 268 (Deposit of Securities)
Article 269 (Trust Business Entity's Duty to Monitor)
Article 270 (Report on Safekeeping and Management of Assets)
CHAPTER VII SPECIAL PROVISONS FOR
Article 271 (Special Cases concerning Privately Placed Funds)
Article 271-2 (Special Cases concerning Privately Placed Fund for Qualified Investors Only)
Article 272 (Special Rules Governing Banks)
Article 273 (Special Rules Governing Insurance Companies)
CHAPTER VIII SUPERVISION AND INSPECTION
Article 274 (Supervision over Investment Companies, etc.)
Article 275 (Measures against Investment Companies, etc.)
CHAPTER IX COMPANIES RELATED TO COLLECTIVE INVESTMENT SCHEMES
Article 276 (Prerequisites for Registration of General Administration Company)
Article 277 (Method and Procedure for Registration)
Article 278 (Supervision over General Administration Companies)
Article 279 (Measures against General Administration Companies)
Article 280 (Prerequisites for Registration of Fund Assessment Company)
Article 281 (Method and Procedure for Registration)
Article 282 (Working Rules, etc. on Business Conduct)
Article 283 (Supervision over Fund Assessment Companies)
Article 284 (Measures against Fund Assessment Companies)
Article 285 (Prerequisites for Registration of Bond Rating Companies)
Article 286 (Method and Procedure for Registration)
Article 287 (Working Rules, etc. on Business Conduct)
Article 288 (Supervision over Bond Rating Companies)
Article 289 (Measures against Bond Rating Companies)
CHAPTER X SPECIAL CASES CONCERNING PRIVATE EQUITY FUNDS
Article 290 (Registration of Private Equity Fund)
Article 291 (Partners and Contributions)
Article 292 (Management Method of Property of Private Equity Fund)
Article 293 (Management Methods, etc. of Surplus Fund)
Article 294 (Restrictions, etc. on Management of Property of Private Equity Funds)
Article 295 (Calculation Formula of Investment Ratio)
Article 296 (Special Purpose Companies)
Article 297 (Executive Partners)
Article 298 (Reporting Method upon Acquisition of Stocks of Banks, etc.)
Article 299 (Special Cases concerning Regulation of Holding Companies)
Article 300 (Measures against Private Equity Funds)
Article 300-2 (Special Cases concerning Private Equity Funds for Corporate Financial Stability, etc.)
CHAPTER XI SPECIAL CASES CONCERNING FOREIGN COLLECTIVE INVESTMENT SECURITIES
Article 301 (Prerequisites of Qualification for Foreign Collective Investment Business Entities)
Article 302 (Inspection of Account Books and Documents)
Article 303 (Sales Methods, etc. of Foreign Collective Investment Securities)
Article 304 (Revocation of Registration of Foreign Collective Investment Schemes)
PART VI INSTITUTIONS RELATED TO FINANCIAL INVESTMENT BUSINESS
CHAPTER I KOREA FINANCIAL INVESTMENT ASSOCIATION
Article 305 (Registration of Incorporation)
Article 306 (Members)
Article 307 (Business Affairs, etc.)
Article 308 (Organization and Articles of Incorporation)
Article 309 (Measures against Association)
CHAPTER II KOREA SECURITIES DEPOSITORY
Article 310 (Securities Subject to Deposit)
Article 311 (Registration of Incorporation)
Article 312 (Special Interests)
Article 313 (Measures against Korea Securities Depository)
Article 314 (Restriction on Return of Securities Deposited by Investors)
Article 315 (Replenishment of Shortfall in Deposited Securities, etc.)
Article 316 (Matters Notified by Issuer)
Article 317 (Exercise of Voting Rights by Korea Securities Depository)
Article 318 (Persons Included in Issuers of Stocks, etc.)
CHAPTER III SECURITIES FINANCE COMPANIES
Article 319 (Authorization)
Article 320 (Business Affairs)
Article 321 (Special Interests)
Article 322 (Issuance of Bonds)
Article 323 (Approval on Discontinuance of Business)
Article 324 (Measures against Securities Finance Companies)
CHAPTER IV MERCHANT BANK
Article 325 (Business of Merchant Banks)
Article 326 (Issuance of Cover Notes)
Article 327 (Selection of Eligible Business Entities)
Article 328 (Dealing with Unsecured Bills)
Article 329 (Bill Management Account)
Article 330 (Working Rules on Business Conduct)
Article 331 (Authorization for Branches)
Article 332 (Issuance of Bonds)
Article 333 (Special Cases concerning Collective Investment Business Entities)
Article 334 (Limit on Credit Extension to Single Borrower)
Article 335 (Scope of Equity Capital)
Article 336 (Scope of Credit Extension)
Article 337 (Extent of Single Borrower and Related Persons)
Article 338 (Restriction on Transactions with Major Shareholders)
Article 339 (Limit on Investment in Securities)
Article 340 (Acts Prohibited in Relation to Providing Financial Support)
Article 341 (Holding Reserve Assets)
Article 342 (Restrictions on Acquisition of Real Property)
Article 343 (Corporation Subject to Prohibition on Concurrent Offices)
Article 344 (Measures against Merchant Banks)
CHAPTER V FINANCIAL BROKERAGE COMPANY
Article 345 (Authorization for Financial Brokerage Company)
Article 346 (Restrictions on Activities of Financial Brokerage Company)
Article 347 (Measures against Financial Brokerage Companies)
CHAPTER VI SHORT-TERM FINANCIAL COMPANY
Article 348 (Business of Short-Term Financial Companies)
Article 349 (Measures against Short-Term Financial Companies)
CHAPTER Ⅶ TRANSFER AGENCY COMPANY
Article 350 (Prerequisites for Registration)
Article 351 (Procedure for Registration, etc.)
Article 352 (Measures against Transfer Agency Companies)
CHAPTER Ⅷ ORGANIZATIONS RELATED TO FINANCIAL INVESTMENT
Article 353 (Establishment of Organizations Related to Financial Investment)
Article 354 (Measures against Organizations Related to Financial Investment)
PART VII KOREA EXCHANGE
Article 355 (Abnormal Transactions)
Article 356 (Qualifications for Executives)
Article 357 (Special Interests)
Article 358 (Members of Director-Nominee Recommendation Committee)
Article 359 (Categories of Members)
Article 360 (Securities Subject to Public Disclosure Regulations)
Article 361 (Requests for Furnishing Information)
Article 362 (Accumulation and Management of Joint Fund for Compensation for Losses)
Article 363 (Exercise of Rights to Claim Reimbursement of Indemnity)
Article 364 (Public Announcement of Market Prices)
Article 365 (Qualifications for Chairperson of Market Monitoring Committee)
Article 366 (Restriction on Holding of Stocks)
Article 367 (Measures against Exchange)
Article 368 (Market Efficiency Promotion Committee)
PART VIII SUPERVISION AND DISPOSITIONS
CHAPTER I ORDERS, APPROVAL, ETC.
Article 369 (Orders to Financial Investment Business Entities to Take Measures)
Article 370 (Matters Subject to Approval)
Article 371 (Matters Subject to Reporting)
CHAPTER II INSPECTION AND MEASURES
Article 372 (Entrustment of Inspection)
Article 373 (Measures against Financial Investment Business Entities)
Article 374 (Measures against Executives and Employees)
CHAPTER III INVESTIGATIONS, ETC.
Article 375 (Demands to Financial Investment Business Entities to Submit Data)
Article 376 (Measures Following Results of Investigation)
Article 377 (Public Announcements of Results of Investigations and Dispositions)
Article 378 (Investigative Officers)
CHAPTER IV PENALTY SURCHARGES
Article 379 (Guidelines for Imposition of Penalty Surcharges)
Article 380 (Procedure for Imposition of Penalty Surcharges)
Article 381 (Extension of Deadline for Payment and Payment in Installments)
Article 382 (Additional Charges)
Article 383 (Entrustment of Disposition against Default on Payment)
Article 383-2 (Interest Rate for Additional Payment on Refund)
Article 383-3 (Disposition on Deficits)
PART IX SUPPLEMENTARY PROVISONS
Article 384 (Reporting of Offenses)
Article 385 (Reporting by Electronic Document)
Article 386 (Exchange of Information for which Consultation not Required)
Article 387 (Delegation or Entrustment of Authority)
Article 387-2 (Handling of Sensitive Information and Personally Identifiable Information)
Article 388 (Rate and Limit of Allotted Contributions)
Article 388-2 (Reexamination of Restrictions)
ADDENDA
ADDENDA <Presidential Decree No. 21291, Feb. 3, 2009>
ADDENDA <Presidential Decree No. 21480, May 6, 2009>
ADDENDA <Presidential Decree No. 21518, May 29, 2009>
ADDENDA <Presidential Decree No. 21565, Jun. 26, 2009>
ADDENDA <Presidential Decree No. 21611, Jul. 1, 2009>
ADDENDA <Presidential Decree No. 21744, Sep. 21, 2009>
ADDENDA <Presidential Decree No. 21765, Oct. 1, 2009>
ADDENDA <Presidential Decree No. 21835, Nov. 20, 2009>
ADDENDA <Presidential Decree No. 21898, Dec. 21, 2009>
ADDENDA <Presidential Decree No. 21904, Dec. 24, 2009>
ADDENDA <Presidential Decree No. 21978, Jan. 6, 2010>
ADDENDA <Presidential Decree No. 22003, Jan. 27, 2010>
ADDENDA <Presidential Decree No. 22151, May 4, 2010>
ADDENDA <Presidential Decree No. 22197, Jun. 11, 2010>
ADDENDUM <Presidential Decree No. 22467, Nov. 2, 2010>
ADDENDA <Presidential Decree No. 22493, Nov. 15, 2010>
ADDENDA <Presidential Decree No. 22516, Dec. 7, 2010>
ADDENDA <Presidential Decree No. 22637, Jan. 24, 2011>
ADDENDUM <Presidential Decree No. 22718, Mar. 22, 2011>
ADDENDA <Presidential Decree No. 23073, Aug. 11, 2011>
ADDENDUM <Presidential Decree No. 23197, Sep. 30, 2011>
ADDENDUM <Presidential Decree No. 23285, Nov. 4, 2011>
ADDENDA <Presidential Decree No. 23488, Jan. 6, 2012>
ADDENDA <Presidential Decree No. 23496, Jan. 6, 2012>
ADDENDA <Presidential Decree No. 23644, Feb. 29, 2012>
ADDENDA <Presidential Decree No.23924, Jun. 29, 2012>
ADDENDUM <Presidential Decree No. 24317, Jan. 16, 2013>
ADDENDA <Presidential Decree No. 24435, Mar. 23, 2013>
ADDENDA <Presidential Decree No. 24497, Apr. 5, 2013>